Summary
Overview
Work history
Education
Skills
Languages
SOFT SKILLS
Publication
Timeline
Generic
Julien G. Patrick Goux

Julien G. Patrick Goux

Compliance Practice Line Manager
Dublin,Ireland

Summary

Accomplished professional with extensive years of experience managing people, complex operations within financial services. In-depth knowledge of administering fraud risk, regulatory changes, AML, compliance, and banking operations as well as UCITS/ AIFMD with associated processes and requisites. Demonstrated ability to tackle money laundering and counter terrorism financing within first and second line of defence and within the on-boarding process. Excellent communicator with a solid track record of relationship building across multi-disciplinary functions. Skilled problem-solver, supporting the achievement of individual and shared goals. Graduated from Ulster University in Global Capital Markets with Risk Management.

Overview

17
17
years of professional experience
6
6
years of post-secondary education

Work history

Practice Line Manager, AML-KYC Division/Consultant

First Derivative
Dublin, Ireland
05.2023 - Current
  • Wrote a Compliance Manual called: "An approach to AML, KYC and Compliance" for training and learning development within FD for new hires and experienced team members of FD AML-KYC Division.
  • Possess and Demonstrate Outstanding interpersonal skills, provide leadership by example.
  • Complete Achievement: 8 Missions successfully completed with an excellent and over achieved performances for both Macquarie Rotorcrafts and Macquarie General Aviation Leasing desks, demonstrated, on client's site, my capacity to enabling and accelerating Business Agility with Macquarie's 8 assignments by applying my expertise and knowledge of AML/CTF and Risk Management.
  • Demonstrate experience structuring, guiding, and coordinating the efforts of direct reports and other team members to achieve business goals.
  • Lead organizational team members/direct reports through 1:1s, feedback, coaching and mentoring.
  • Apply Consultative Compliance and Leadership skills.
  • Accelerate Business Agility through: Financial Crime Risk (FCR) Prevention, Know Your Customers (KYC), Anti-Money Laundering (AML), Counter Terrorism Financing (CTF), and, Compliance as Financial Crime Risk (FCC) Managing Consultant.
  • Trainings and FD learning paths completed:
    a/ Project Manager Role on 12/2/24.
    b/ Project Manager Officer Role on 12/2/24.
    c/ Improve Your Change Communication Skills on 13/2/24.
    d/ Stakeholder Management on 13/2/24.
    e/ Generic #SFIAAttributesAndBehaviours:
    - Leadership on 16/2/24.
    - Delegation on 2/2/24.
    - Influence on 14/2/24.
    - Problem Solving and Critical Thinking on 14/2/24.
    - Work Collaboration on 19/2/24.

AML/KYC Senior Consultant - Aviation Leasing and Compliance

Macquarie Bank Limited
Dublin, Leinster
09.2021 - 01.2024
  • Complete Achievement: 7 missions assigned & project completed with a successful track record for Macquarie Bank Limited
  • Built the reporting excel matrix for internal stakeholders
  • Promoted as Practice Line Manager, within the AML KYC Division, via First Derivative
  • Outstanding interpersonal skills, provide leadership by example
  • Demonstrate experience structuring, guiding, and coordinating the efforts of team members to achieve business goals.

Finance Analyst for Treasury and Finance PMO

AIB Ireland
Dublin, Leinster
05.2021 - 08.2021
  • Results and Key Accomplishments: Successful Track Record in managing deliverables on multiple projects with different stakeholders and in respecting deadlines on projects assigned
  • Maintained project finances & reporting on core systems
  • Ensured spend allocation is categorized and vendor invoices processed in a timely manner
  • Prepare the monthly cost forecast, variance analysis and gap resolution
  • Informed Project team, Finance & Stakeholders of relevant project finance information in line with agreed Monthly Run Book
  • Completed Ad-hoc Financial Scenario Modelling - collaborate with the Project Managers (or PMs) to forecast several possible scenarios and help understand and analysis the outcomes
  • Used technical skills: Coupa Invoices, SAP, PPM Clarity (project management) for Treasury and Finance (IBOR project), Retail (payment functionality project), and Data and Risk projects for Front Door Office, Assurance and Sustainability.

AML/KYC Analyst and Capital Markets Consultant

First Derivative
Dublin, Leinster
04.2021 - 09.2021
  • First Derivative is a leading software and services company, with world-leading intellectual property in ultra-high-performance analytics (KX) across industries, and extensive domain expertise and capabilities in capital markets systems and technology (managed services and consulting)
  • First Derivative provides a range of managed services and consulting worldwide to its clients in the capital markets sector, including many of the world's leading banks, focused on supporting mission-critical systems as well as helping them to achieve and maintain regulatory compliance
  • Training Completed on the Path for Becoming a Manager.

Business Analyst for a Regulatory FinTech Firm (Contract)

Compliance Solutions Strategies (CSS)
Dublin, Leinster
08.2020 - 02.2021
  • Did the European MiFID Template (EMT) analysis, KIID & Factsheets business reviews, analysis, and implementation for Fund Manager clients across Europe
  • Run Quality Assessments on Analysts' works and Performing Control Checks on the Quality of documents produced
  • Have implemented the Quality Control template for improving communication efficiency and results between multiple departments to deliver a better customer experience and service to clients
  • Project delivered.

AML Assistant Manager, Transfer Agency Department, Hedge Funds Team (Contract)

SEI Investments Global Funds Services Ltd
Dublin, Leinster
06.2020 - 07.2020
  • Review of documentation linked to new account opening & maintenance specific to established AML requirements
  • Quality checking on investor files and Perform quality control
  • Investigate & solve potential issues
  • Review approvals and sign off on the status of AML for investor accounts
  • Train, coach & mentor new employees, develop & motivate staff
  • Maximise team efficiency and Act as POC for complex queries
  • Provide input & feedback to Manager regarding employees' ongoing performance, development, performance appraisals
  • Work with Manager to ensure employees adhere to company policies & procedures
  • Coordinate with AML Officer to ensure his satisfaction with regulatory obligations
  • Review audit samples and liaise with auditors & Risk Management
  • Develop and implement of quarterly plans to ensure that team goals & objectives are met
  • Get Excellent interpersonal & Strong organizational skills and Get a Positive 'can do' attitude with excellent problem-solving skills
  • Key Accomplishments: Completed and coordinated the assigned project by finalising cyclical AML reviews within timely constraints.

Settlements Analyst (Contract),Equity Prime Broker

Bank of America Merrill Lynch
Dublin, Leinster
03.2020 - 06.2020
  • Act as a point of contact for EMEA based Clients for settlement related queries within the bank across product, market, entity, trade status
  • Up to date market knowledge on key initiatives and developments within the clearing and settlement space
  • Directly interacting with Clients daily on all operational issues and act as Client advocate within the bank to ensure all clients' needs are met
  • Resolution and escalation unmatched trades for EMEA Clients settling in the European markets
  • Timely response to client queries regarding the settlement of their trades
  • Client Fails Reporting and Buy in avoidance
  • Liaising with other internal departments to ensure timely resolution of Client fails
  • Involvement in ad hoc projects for new processes and industry initiatives
  • Key Accomplishments: Offer premium Client service and deal with all Client queries and manage the relationships between Clients and internal departments.

AML/KYC Analyst (Contract)

Societe Generale Securities Services (SGSS)
Dublin, Leinster
06.2019 - 12.2019
  • Managed and coordinated the projects within set time through collaboration with a team of five members
  • Verified shareholders of client's funds by conducting AML/KYC checks, while reporting to head of operations and interacting with senior management and risk/compliance departments
  • Supervised legal and regulatory matters, especially anti money laundering regulations and FATCA/CRS within transfer agency
  • Ensured implementation and maintenance of associated processes
  • Devised plans for mitigation of potential and identified risks
  • Key Accomplishments: Completed and coordinated the assigned project by finalising cyclical AML reviews within timely constraints
  • Project delivered.

AML Assistant Manager, Senior Associate

The Bank of New York (BNY) Mellon Corporation
Dublin, Leinster
01.2018 - 01.2019
  • Guided a team of five personnel and overseas staff in Poland and India to streamline day-to-day operations
  • Carried out KYC/AML assessments, sanctions, and PEP screening, while interviewing various investors within different legal structures, jurisdictions, and requirements
  • Ensured timely placement of trades as per SLA by interacting with internal teams and clients
  • Produced statistics reports for customers, board meetings, relationship managers, and MLRO
  • Investigated suspicious transactions and discrepancies within accounts and reconciled cash on a regular basis
  • (My team was relocated in Poland and Wexford, Ireland in February 2019)
  • Key Accomplishments: Played a key role in improving team's efficiency by supporting the members, addressing conference calls, and partaking in meetings for AML presentations
  • Minimised the number of queries by 80% via optimised customer communication for document acquisition
  • Finalised customer due diligence and FATCA/CRS reviews in accordance with MIFIDII regulation
  • Run the migration project for migrating the BNY Mellon funds population within UAT testing from NTAS to NTAS web.

AML-KYC Operations Senior Analyst

Deutsche Bank
Dublin, Leinster
05.2016 - 12.2017
  • Played a vital role to deliver projects assigned to me as subject matter expert for the staff members
  • Ensured optimum management of workflow and quality checks for a team of five persons
  • Interacted with the teams in India and Luxembourg to align operations as per provided specifications and policies
  • Evaluated and documented the risks linked with investors and customers through initiation of client due diligence process, including AFC, SDD, CDD, EDD, and PEP
  • Conducted FATCA and CRS reviews as per MIFID I/II regulations and analysed clients' portfolio
  • Key Accomplishments: Gained valuable knowledge of processes and methodologies for the management of risk, and for AML & Compliance related matters.

AML-KYC Operations Senior Analyst

eBay
Dublin, Leinster
01.2007 - 05.2016
  • Performed as Executive Escalation Specialist (litigations, pre-litigations, GDPR, AML and Compliance) and Lead point of contact for a team of 17 specialists within Dublin and Berlin
  • Coordinated in interacting with the community & social media members regarding FR & BEFR boards and FR, BEFR, UK/IE/ US Facebook eBay sites
  • Key Accomplishments at eBay Inc: Achieved 100% service level for West and South of Europe and 98% for the UK, Ireland, and Germany
  • Accomplished winning ratio of 99% within all legal cases in court
  • Represented eBay at Paris eBay seller events in 2010 and the e-commerce exhibitions in 2010 & 2011
  • Learned the processes and procedures associated with AML/KYC.

Education

Postgraduate Certificate - Global Capital Markets with Risk Management

University of Ulster
Belfast, United Kingdom
02.2020 - 03.2021

Certificate of Higher Education - Fund Accounting

Dublin Business School (DBS)
Dublin, Leinster
03.2019 - 09.2019

Diploma of Higher Education - Marketing

Marketing Institute of Ireland (MII)
Dublin, Leinster
10.2010 - 12.2012

Certificate of Higher Education - Marketing

Marketing Institute of Ireland (MII) with DIT
Dublin, Leinster
10.2009 - 12.2010

A-Levels - Business Communication and Marketing

High-School Saint-Thomas d'Aquin (Ex Notre-Dame)
Flers, Normandy, France
09.1997 - 07.1998

Skills

  • Regulatory knowledge and understanding, especially in the fields of expertise of Compliance, Due diligence and AML-KYC reviews, AML directives, sanctions, embargoes and banking regulatory changes and their implementation for multiple banks and investment banks: PayPal (via eBay), Deutsche Bank, Bank of New York Mellon (BNY Mellon), Societe Generale, SEI Investments, and for special assigned First Derivative project for AIB Bank and Macquarie Bank Limited
  • Communication skills
  • Team building
  • Time management
  • Knowledge of Softwares Coupa Invoice, SAP, PPM Clarity (project management) and Other Softwares used during my full experience: Citrix, Kana, Unify, Siebel, Genesys - CRM, Agent desktop, Atlassian Jira, AS400, SIGMA (Insurance Tool), Billing Tool (Accounting), MS Office Suite, Mozilla, Firefox, Chrome, Lithium (Social Media), Watchdog and eBay and PayPal (Fraud Risk Tools), NTAS, NTAS web (funds / hedge funds), Praeeo (funds / hedge funds), Compliance Tools: Lexis, Nexis, Choice point, World-Check, Forces; DBCAR (Deutsche Bank for 2 years), Euclid, CWS, RITM, GSS - Semaphore (for Collateral Report), GRS (Global Reconciliation Systems), GSL, CBAR, Cash Manager, Swift Alliance, Mercury Portal operations, BOT (for realignment transactions), Spotlight (for realignment transactions), Quartz, Dashboard, MAIA, Report, Jira, Workflow, Workbench, Kruger (funds / hedge funds), Microsoft Excel, Microsoft Word, Pivot Table, Microsoft PowerPoint, Microsoft Office, Microsoft Outlook, Microsoft Teams, Zoom, and for more than two years and half for Macquarie Bank Limited: Fenergo for CLM, Factiva, Worldcheck, Refintiv Worldcheck 1 for screening and Compliance purposes]
  • Team Management
  • Problem-solving
  • Customer-focused
  • Multilingual
  • Areas of certifications: a/ Project Manager Role (on 12/2/24) b/ Project Manager Officer Role (on 12/2/24) c/ Improve Your Change Communication Skills (on 13/2/24) d/ Stakeholder Management (on 13/2/24) e/ Generic SFIA Attributes and Behaviours: Leadership (on 16/2/24), Delegation (on 2/2/24), Influence (on 14/2/24), Problem Solving and Critical Thinking (on 14/2/24), Work Collaboration on (19/2/24) qualified

Languages

English: Fluent/Bilingual
French: Expert/Native
Spanish: Advanced

SOFT SKILLS

  • Leadership
  • Resolution of Complex Problems and Projects
  • Emotional Intelligence
  • Customer Services
  • Team Spirit
  • Think Outside the Box
  • Creativity
  • Flexibility
  • Know to Take Decisions
  • Problems Solver
  • Negotiating
  • Management
  • Team Management
  • Leader

Publication

An Approach to AML, KYC and Compliance, February 2024, a First Derivative Training Manual for Compliance knowledge development. 

Timeline

Practice Line Manager, AML-KYC Division/Consultant

First Derivative
05.2023 - Current

AML/KYC Senior Consultant - Aviation Leasing and Compliance

Macquarie Bank Limited
09.2021 - 01.2024

Finance Analyst for Treasury and Finance PMO

AIB Ireland
05.2021 - 08.2021

AML/KYC Analyst and Capital Markets Consultant

First Derivative
04.2021 - 09.2021

Business Analyst for a Regulatory FinTech Firm (Contract)

Compliance Solutions Strategies (CSS)
08.2020 - 02.2021

AML Assistant Manager, Transfer Agency Department, Hedge Funds Team (Contract)

SEI Investments Global Funds Services Ltd
06.2020 - 07.2020

Settlements Analyst (Contract),Equity Prime Broker

Bank of America Merrill Lynch
03.2020 - 06.2020

Postgraduate Certificate - Global Capital Markets with Risk Management

University of Ulster
02.2020 - 03.2021

AML/KYC Analyst (Contract)

Societe Generale Securities Services (SGSS)
06.2019 - 12.2019

Certificate of Higher Education - Fund Accounting

Dublin Business School (DBS)
03.2019 - 09.2019

AML Assistant Manager, Senior Associate

The Bank of New York (BNY) Mellon Corporation
01.2018 - 01.2019

AML-KYC Operations Senior Analyst

Deutsche Bank
05.2016 - 12.2017

Diploma of Higher Education - Marketing

Marketing Institute of Ireland (MII)
10.2010 - 12.2012

Certificate of Higher Education - Marketing

Marketing Institute of Ireland (MII) with DIT
10.2009 - 12.2010

AML-KYC Operations Senior Analyst

eBay
01.2007 - 05.2016

A-Levels - Business Communication and Marketing

High-School Saint-Thomas d'Aquin (Ex Notre-Dame)
09.1997 - 07.1998

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Julien G. Patrick GouxCompliance Practice Line Manager